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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

MICHAEL JULIAN RHODES

Advisor at UBS FINANCIAL SERVICES INC.

NAPLES, FL

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jul 23, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 8, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66
First exam: Feb 8, 2000
First registration: Jul 23, 2002
Dual registered: yes, broker-dealer
Other names: MICHAEL J RHODES|MICHAEL JULIAN RHODES|MICHAEL JULIAN JULIAN RHODES
IAPD individual key: 4066970

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 26, 2013	n/a	yes	NAPLES, FL	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 15, 2013	no	RANCHO SANTE FE, CA\|Newport Beach, CA\|Boston, MA\|San Diego, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	BOSTON, MA	Previous registration
MORGAN STANLEY DW INC.	n/a	Mar 13, 2006	Apr 2, 2007	no	BOSTON, MA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 23, 2002	Dec 31, 2005	no	BOSTON, MA\|BOSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Aug 15, 2013	Aug 26, 2013	11	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY DW INC.	Dec 31, 2005	Mar 13, 2006	72	Firm change	Other

Relationships

Registered with (5)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Aug 26, 2013 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 15, 2013factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Mar 13, 2006 to Apr 2, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 23, 2002 to Dec 31, 2005factForm ADV

Dated events

No dated event names this entity yet.